Regional Compliance Manager
- Permanent, Full time
- S&P Global
- 12 Dec 18
Regional Compliance Manager
The Role: S&P Global is seeking an experienced Regional Compliance Manager to join the S&P Global Platts compliance function in APAC. This role will be supporting the Chief Compliance Officer (CCO) of Platts and contributing to ensure a highly effective compliance program is operational, utilized and successful. The program will include policies, procedures, standards and guidelines that are consistent with S&P Global's compliance procedures, including those pertaining to anti-bribery and corruption, sanctions, and privacy and information security.
The Impact: The successful candidate will help the CCO build an effective compliance function in APAC. The position reports directly to the Chief Compliance Officer of S&P Global Platts.
Our hiring manager says: This is a fantastic opportunity to strategically & tactically input and execute in the operation & enhancement of the Compliance function for a market leader. The successful candidate will interact with key stakeholders at all levels within the business. As such it is a high profile position with great career trajectory both within Platts and the broader S&P Global group.
- Participate in a risk assessment annually and formulate compliance plans geared at developing and improving policies and procedures, activities related to training and education.
- Develop ongoing monitoring and surveillance of key current and emerging compliance risks. Work with Compliance colleagues in shared services to enhance automation and replace manual controls when possible, develop economies of scale and consistency of reporting and monitoring.
- Ensure that appropriate compliance due diligence reviews are conducted on all new acquisitions, joint ventures and partnerships.
- Establish and maintain excellent working relationships with members of the business and work proactively with them to identify, mitigate and address compliance risk. This responsibility will include meeting regularly with senior business leaders across the S&P Global Platts organization.
- Work closely with in-house lawyers in tracking and interpreting regulatory developments that may potentially affect S&P Global Platts, including but not limited to those from MAS and the International Organization of Securities Commissions (IOSCO).
- Support the drafting and implementation in collaboration with in-house lawyers and appropriate business leaders compliance policies and procedures at the S&P Global or S&P Global Platts level that are required to address any new regulatory developments.
- Manage future regulatory examinations with CCO and other compliance colleagues.
- Advise the Chief Compliance Officer of S&P Global Platts with regard to significant compliance matters and issues pertaining to S&P Global Platts and identify resources required for developing and maintaining an effective compliance program for S&P Global Platts.
- Bachelor's degree and Juris Doctor is preferred.
- Significant compliance experience in in leading regulated global financial services firms, preferably with exposure to the commodities sector.
- Experience in interacting with regulators is preferred.
- Areas of compliance expertise to include some (or all) of the following: commodities trading, asset management or investment advisory services; operation of financial exchanges, cybersecurity, conflicts of interest, cross-border transactions, regulatory examinations, privacy and information security, and anti-bribery and corruption, sanctions, and anti-money laundering, business continuity planning and management.
- Demonstrated successful track record in compliance project management that includes planning, delegation of responsibility, progress monitoring, follow through and implementation, coupled with a keen understanding of what comprises a proactive, business-oriented compliance management function.
- Confident, highly motivated self-starter who works calmly and effectively under pressure.
- Possess strong values, ethics and integrity; will lead by example.
- Superior time-management/ project-management skill set, able to prioritize and handle multiple competing programs and initiatives, and execute excellently.
- Strong communication (both oral and written) skills and ability to operate in a matrix and multicultural environment, strong leadership and interpersonal skills.
- Proactive, initiative-taking mindset and approach to engage the business partners and gain their support.
At S&P Global Platts, we provide the insights; you make better informed trading and business decisions with confidence. We're the leading independent provider of information and benchmark prices for the commodities and energy markets. Customers in over 150 countries look to our expertise in news, pricing and analytics to deliver greater transparency and efficiency to markets. S&P Global Platts coverage includes oil and gas, power, petrochemicals, metals, agriculture and shipping.
S&P Global Platts is a division of S&P Global (NYSE: SPGI), which provides essential intelligence for individuals, companies and governments to make decisions with confidence. For more information, visit www.platts.com.
S&P Global is an equal opportunity employer committed to making all employment decisions without regard to race/ethnicity, gender, pregnancy, gender identity or expression, color, creed, religion, national origin, age, disability, marital status (including domestic partnerships and civil unions), sexual orientation, military veteran status, unemployment status, or other legally protected categories, subject to applicable law.
To all recruitment agencies; S&P does not accept unsolicited agency resumes. Please do not forward such resumes to any S&P Global employee, office location or website. S&P Global will not be responsible for any fees related to such resumes.